Bad Broker

Investors rely on firms to seek best execution rather than route orders in ways that benefit the firm at customers’ expense. When firms route to their own systems despite evidence of better execution elsewhere

2022-05-01

My Bad Broker

it violates this fundamental obligation."

Violation :

Best execution violations related to routing to proprietary ATS, inadequate supervisory system, and Rule 606 disclosure failures

Tags :

Deutsche Bank Securities, Inc.,
NY
CRD Number : 2525

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